401(k) · DOL Form 5500 · 2023

Caterpillar Inc. 401(k) Plan

Data updated 2026-08-25

$48M
Total assets Below avg plan size
277
Participants Below avg headcount
85th
Percentile by assets National rank
$172,194
Avg per participant Above avg balance/head
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Official DOL plan name: Caterpillar Global Mining Legacy Hourly Employees' Savings Plan · Sponsored by Caterpillar Inc. · Texas · Manufacturing

$48M in assets, 277 participants

Caterpillar Inc.'s Caterpillar Global Mining Legacy Hourly Employees' Savings Plan reported $48M in total assets and 277 participants in its 2023 DOL Form 5500 filing, ranking in the 85th percentile by assets among filed plans. Figures are as reported by the plan sponsor to the Department of Labor, not audited or endorsed by PlainRetire.

  • #14,685 in Manufacturing (18,722 peers)

Coverage in Texas

Caterpillar Global Mining Legacy Hourly Employees' Savings Plan covers 277 participants in Texas, about 40% of the average Texas filer (state average ~688 per filing). Assets: $48M.

#14,685
in Manufacturing (18,722 peers)
+15.9%
assets growth YoY
0.5×
vs typical plan assets (national mean)

Caterpillar Global Mining Legacy Hourly Employees' Savings Plan's outsized position by total assets

Caterpillar Global Mining Legacy Hourly Employees' Savings Plan vs every filed plan by assets

End-of-year total assets · plan year 2023 · DOL Form 5500

$47,697,718 Top 15% higher than 85% of 127,068 filed plans

This plan $0 $2,050,000,000 every filed plan with reported assets, bucketed by value

Dashed line + filled bar = this entry, among filed plans.

Source U.S. Department of Labor Form 5500 filings (EBSA) · plan year 2023

Caterpillar Global Mining Legacy Hourly Employees' Savings Plan among mid-size filed plans by headcount

Plan-year 2023 Form 5500 filings with a reported participant count, partitioned by headcount band, not by assets. Caterpillar Global Mining Legacy Hourly Employees' Savings Plan sits mid-pack in the medium band (277 participants).

What changed between DOL Form 5500 filings

plan year 2022 → plan year 2023

  • Caterpillar Global Mining Legacy Hourly Employees' Savings Plan reported net income rose from -$10M in the plan year 2022 filing to $7M in the plan year 2023 filing.
  • Caterpillar Global Mining Legacy Hourly Employees' Savings Plan end-of-year assets rose from $41M in the plan year 2022 filing to $48M in the plan year 2023 filing.
  • Caterpillar Global Mining Legacy Hourly Employees' Savings Plan reported participants fell from 292 in the plan year 2022 filing to 277 in the plan year 2023 filing.

See the national 2022→2023 release diff →

EBSA filing schedule strip

Filing strip 370602744 · Caterpillar Inc. PY 2023 · 401(k)

Caterpillar Global Mining Legacy Hourly Employees' Savings Plan · $48M · 277 · 85th

  • EBSA $48M
  • PART 277
  • TYPE 85th
  • NET 401(k)
  • BOOK near Rarebreed Veterinary Partners 401(k) Plan
  • VS-ST ind #14685

Stamps derive from this plan's Form 5500 line items (assets, participants, type, EIN, cohort placement) - not a quality rating of the sponsor. Read with Manufacturing retirement plans → · Plans in Texas →

Caterpillar Global Mining Legacy Hourly Employees' Savings Plan in the asset neighbourhood

R M Palmer Company Investment Opportunity PlanR M Palmer Company Investmen…$48MCaterpillar Global Mining Legacy Hourly Employees' Savings PlanCaterpillar Global Mining Le…$48MRarebreed Veterinary Partners 401(k) PlanRarebreed Veterinary Partner…$48M401(k) Plan for the Non-Bargaining Employees of Twin Rivers Paper Company LLC401(k) Plan for the Non-Barg…$48MArrowhead Engineered Products 401(k) PlanArrowhead Engineered Product…$48M
End-of-year total assets ($M) among Caterpillar Global Mining Legacy Hourly Employees' Savings Plan and nearest nationwide 401(k) peers. Source: DOL Form 5500 plan year 2023.

Texas filing particulars

Total Assets (Beginning of Year)$41M
Net Assets (End of Year)$48M
Net Income$7M
Employer EIN370602744
Plan Effective Date1986-01-01
Filing StatusFILING RECEIVED

Sponsor Plan History (Caterpillar Inc.)

Sponsor-wide plan assets over time

All Caterpillar Inc. plans reported in each filing year

Latest sponsor-wide plan assets
$31.2B 17.462816221366566% vs 2022
2024 filing year
$26B$28B$30B$32B 202220232024 $26.6B $31.2B ▲ +17.5%
Year Plans Participants Total Assets
2022 6 59,865 $26.6B
2023 6 62,525 $29.7B
2024 6 64,709 $31.2B

Nearby 401(k) Plans in Texas

Peer 401(k) plans, same state, same plan type, ranked by total assets.

Caterpillar Global Mining Legacy Hourly Employees' Savings Plan vs. nearby 401(k) plans in Texas, assets vs. participants Scatter plot of 6 data points. -50000050000100000150000 -1001020304050 Total assets ($B) Participants Caterpillar Global Mining Legacy Hourly Employees' Savings Plan, Total assets ($B): 0.047697718 · Participants: 277Caterpillar Global Mining Legacy Hourly Employees' Savings PlanAT&T Retirement Savings Plan, Total assets ($B): 40.012012 · Participants: 119854AT&T Retirement Savings PlanExxonmobil Savings Plan, Total assets ($B): 21.917 · Participants: 23477Exxonmobil Savings PlanCaterpillar 401(k) Savings Plan, Total assets ($B): 16.496476432 · Participants: 41679Caterpillar 401(k) Savings PlanAmerican Airlines, Inc. 401(k) Plan, Total assets ($B): 14.680189879 · Participants: 88792American Airlines, Inc. 401(k) PlanDell Inc. 401(k) Plan, Total assets ($B): 13.529835 · Participants: 45686Dell Inc. 401(k) Plan
Caterpillar Global Mining Legacy Hourly Employees' Savings Plan vs. nearby 401(k) plans in Texas, assets vs. participants
Compare Caterpillar Global Mining Legacy Hourly Employees' Savings Plan side-by-side with 3 peers →

Caterpillar Global Mining Legacy Hourly Employees' Savings Plan's out-of-state 401(k) peers by assets and headcount

Outside Texas, the nearest 401(k) by assets is Rarebreed Veterinary Partners 401(k) Plan in ME ($48M); by covered participants it is Onin Group 401(k) Plan in AL (277 participants). Same-state nearby plans are listed separately above.

Similar participant headcount

Nearest other-state filings by covered participants (277 participants); asset peers above are excluded.

DOL Form 5500 plan year 2023. Asset totals can differ widely at the same headcount; neither axis is a quality rating.

Frequently Asked Questions

How did Caterpillar Global Mining Legacy Hourly Employees' Savings Plan assets move in 2023? ▼
Caterpillar Global Mining Legacy Hourly Employees' Savings Plan grew sharply - up 15.9% during 2023, from $41M to $48M. Reported net income was $7M.
How have Caterpillar Inc. plan assets changed over time? ▼
Across 3 plan years on file (2022-2024), Caterpillar Inc.'s sponsor-wide assets grew 17.5%, from $26.6B to $31.2B.
Where does Caterpillar Global Mining Legacy Hourly Employees' Savings Plan rank by assets among Form 5500 filers? ▼
Caterpillar Global Mining Legacy Hourly Employees' Savings Plan ranks in the 85th percentile by end-of-year assets among 127,072 plans that reported assets for plan year 2023 (in the top quartile of all filed plans by assets).
Which 401(k) plans are similar in size to Caterpillar Global Mining Legacy Hourly Employees' Savings Plan? ▼
Among 401(k) plans in other states, the closest by assets is Rarebreed Veterinary Partners 401(k) Plan in ME ($48M, 2,553 participants).
Which 401(k) plans cover a similar participant headcount to Caterpillar Global Mining Legacy Hourly Employees' Savings Plan? ▼
Among 401(k) plans in other states, the closest by covered participants is Onin Group 401(k) Plan in AL (277 participants, $3M in assets).

Source: U.S. Department of Labor, Employee Benefits Security Administration (EBSA), Form 5500 public disclosure dataset. Plan year 2023.

Source: DOL EFAST2 filing system (efast.dol.gov) - original filing retrieval by EIN 370602744.

Read our methodology - how this data is sourced, computed, and verified.

Data sourced from U.S. Department of Labor Form 5500 filings (EBSA). See our methodology for details.